| 10-01691 | 02/22/2011 | Claimant(s): Morton Wolverton
Claimant Lawyers(s): William T. Kirtley
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Scott J. Vold
Arbitrator(s): Langfred W. White, Brian G. Mooney, Michael R. Alford
Hearing Site: Tampa, FL
| | |
| 09-05535 | 02/22/2011 | Claimant(s): Maria Thornton
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): John P. Cullem, Constance d'Angelis, Howard L. Hill
Hearing Site: Tampa, FL
|  | $25,200 |
| 09-05842 | 02/17/2011 | Claimant(s): Bob Starnes, The Starnes Family Trust dated 6/25/96
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): William H. Fleece, Nicholas G. Dukas, Andrea Bailey
Hearing Site: Tampa, FL
| | $131,000 |
| 10-03524 | 02/16/2011 | Claimant(s): Next Financial Group.
Claimant Lawyers(s): Owen P. McGill
Respondent(s): Clyde Thornburg
Respondent Lawyers(s): Clyde Marshall Thornburg
Arbitrator(s): William F. Glaser
Hearing Site: Tampa, FL
| | |
| 09-06545 | 02/10/2011 | Claimant(s): Empire Financial Group.
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Gregory Roper
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Edith N. Dinneen, George E. Bouse, Noel K. Evans
Hearing Site: Tampa, FL
| | |
| 09-06267 | 01/27/2011 | Claimant(s): Arthur Rodriguez
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): Edith N. Dinneen, Michael William Landsberg, Oliver J. Janney
Hearing Site: Tampa, FL
| | $0 |
| 09-07225 | 01/26/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T Roche
Respondent(s): Anthony Carpenter
Respondent Lawyers(s): Anthony Carpenter
Arbitrator(s): Gary M. Landau
Hearing Site: Tampa, FL
| | |
| 09-04028 | 01/13/2011 | Claimant(s): Phyllis Williams, Phyllis S. Williams Revocable Trust
Claimant Lawyers(s): Eric E. Ludin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
| | Expungement |
| 09-01054 | 12/17/2010 | Claimant(s): Merrill Lynch, Pierce, Fenner & Smith
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): David Manno
Respondent Lawyers(s): Glenn E. Goldberg
Arbitrator(s): David D. Cohen, William R. Turner, Duncan H. Cameron
Hearing Site: Tampa, FL
| | |
| 08-04276 | 12/16/2010 | Claimant(s): James Murphy
Claimant Lawyers(s): Robert K. Savage
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): William F. Glaser, David M. Snyder, Gayle B. Carlson
Hearing Site: Tampa, FL
| | $1,042,990 |
